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Comments on NASD Rulemaking
Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Variable Annuities
(Release No. 34-56375A; File No. SR-NASD-2004-183)
and
Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
(Release No. 34-52046A; File No. SR-NASD-2004-183)
and
Notice of Filing Amendment No. 2 to Proposed Rule Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
(Release No. 34-54023; File No. SR-NASD-2004-183)
- Comments have been received from individuals and entities using a variety of Letter Types:
|
| Oct. 8, 2007 |
Donald S. Davidson, Bingham McCutchen LLP |
| Oct. 4, 2007 |
Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Oct. 4, 2007 |
John S. Watts, SVP/ Chief Counsel, PFS Investments Inc. |
| Oct. 3, 2007 |
Jill I. Gross and Barbara Black, Pace Investor Rights Clinic, White Plains, New York |
| Aug. 10, 2007 |
James S. Wrona, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia |
| May 24, 2007 |
Eric A. Arnold and Clifford E. Kirsch, Sutherland Asbill & Brennan LLP |
| May 15, 2007 |
James S. Wrona, Associate Vice President
and Associate General Counsel, NASD |
| Apr. 30, 2007 |
Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute |
| Apr. 11, 2007 |
Jeffrey M. Auld, President, Berthel Fisher & Company |
| Apr. 10, 2007 |
Lawrence M. Tomczak, Agency Investment Specialist, MassMutual Financial Group |
| Apr. 10, 2007 |
Victoria Bach-Fink, President, Wall Street Financial Group, Inc. |
| Apr. 9, 2007 |
Clifford E. Kirsch, Sutherland, Asbill & Brennan, LLP, on behalf of the Committee of Annuity Insurers |
| Mar. 30, 2007 |
Michael Calabrese, Arnold, Maryland |
| Mar. 5, 2007 |
Sheryl Johnson, Registered Principal, Raymond James Financial, El Dorado Hills, California |
| Mar. 5, 2007 |
Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute |
| Mar. 1, 2007 |
Victoria Bach-Fink, Wall Street Financial Group |
| Feb. 28, 2007 |
Pam Fritz, Chief Compliance Officer, MWA Financial Services |
| Feb. 28, 2007 |
Connie Jensen, President, Jensen Money Management |
| Feb. 26, 2007 |
Steven Seward, Financial Planner, Cambridge Investment Research |
| Feb. 24, 2007 |
David Demming, CFP/principal,
Demming Financial Services Corp |
| Feb. 24, 2007 |
Charlotte Hartmann-Hansen,
President, Hartmann-Hansen Financial Services |
| Feb. 23, 2007 |
Penn Rettig, Registered Principal, Multi Financial Securities Corp |
| Feb. 23, 2007 |
Mark S. Rushwald, CFP |
| Feb. 23, 2007 |
Mark Stevens, CFP, ChFC,
Bi-Focus Financial, Inc. |
| Feb. 23, 2007 |
Donald Kohnstamm, President,
Desmon & Kohnstamm, Inc. |
| Feb. 23, 2007 |
Clinton Howard, Registered Principal, Jefferson Pilot Securities Corp. |
| Feb. 22, 2007 |
Valentine Lynch, Registered Principle, FSC Securities Corporation, Crofton, Maryland |
| Feb. 22, 2007 |
James Sowell, Owner, $olutions |
| Feb. 22, 2007 |
Christopher Anderson, Financial Consultant, ING Financial Partners |
| Feb. 22, 2007 |
Tom Mooney, Mooney On Money, Inc. |
| Feb. 22, 2007 |
Peter Beronio, Registered Principal, Mutual Service Corporation |
| Feb. 22, 2007 |
Anthony Zambri, Equity Services, Inc.
|
| Feb. 22, 2007 |
Richard Hoem,
Financial Advisor, Berthel Fisher & Company |
| Feb. 22, 2007 |
Elinos Whitlock,
President, Whitlock WealthCare, Inc. |
| Aug. 31, 2006 |
James S. Wrona, NASD, Washington, D.C. |
| Aug. 15, 2006 |
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| Aug. 15, 2006 |
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| Aug. 15, 2006 |
Anonymous |
| Aug. 15, 2006 |
David M. Dinn |
| Aug. 15, 2006 |
C. Wilkins |
| Aug. 15, 2006 |
James R. Lester |
| Aug. 15, 2006 |
J. Kreifel |
| Aug. 15, 2006 |
Daniel L. Lofrese |
| Aug. 15, 2006 |
Mary-Jo Iacovino |
| Aug. 15, 2006 |
Rick |
| Aug. 15, 2006 |
Elaine |
| Aug. 15, 2006 |
Joe Allbright |
| Jul. 28, 2006 |
Laurence S. Schultz, Driggers, Schultz & Herbst, P.C., Troy, Michigan |
| Jul. 25, 2006 |
William M. Hancock, CLU, Transamerica Financial Advisors |
| Jul. 25, 2006 |
Keith J. Wolff, CFP, Vernon, Connecticut |
| Jul. 21, 2006 |
M. L. Vincent, Jr., Registered Representative, Transamerica Financial Advisors, Inc., Lake Charles, Louisiana |
| Jul. 21, 2006 |
Patricia Struck, President, North American Securities Administrators Association and Administrator, Wisconsin Secuities Division, Washington, District of Columbia |
| Jul. 20, 2006 |
Al Villasenor, Unisure Insurance Services Inc., Torrance, California |
| Jul. 20, 2006 |
Ashli Shackelford Wheaton, Transamerica Financial Advisors, Inc. |
| Jul. 20, 2006 |
Robert S. Banks, Jr., President, Public Investors Arbitration Bar Association, Portland, Oregon |
| Jul. 20, 2006 |
Kerry Cunningham, Head of Risk Management, ING Advisors Network, El Segundo, California |
| Jul. 20, 2006 |
Teresa L. Luiz, Greenwood Village, Colorado |
| Jul. 20, 2006 |
Anonymous |
| Jul. 19, 2006 |
Timothy J. Lyle, Senior Vice President and Chief Compliance Officer , Contemporary Financial Solutions |
| Jul. 19, 2006 |
Timothy J. Lyle, Senior Vice President and Chief Compliance Officer , Mutual Service Corporation |
| Jul. 19, 2006 |
Darrell N. Braman, Vice President and Associate Legal Counsel, and Sarah McCafferty, Vice President and Associate Legal Counsel, T. Rowe Price Associates, Inc. |
| Jul. 19, 2006 |
Rick Dahl, CCO, Sorrento Pacific Financial, LLC |
| Jul. 19, 2006 |
Ari Burstein, Associate Counsel, Investment Company Institute |
| Jul. 19, 2006 |
Joel R. Swinehart, National Financial Alliance |
| Jul. 19, 2006 |
Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Jul. 19, 2006 |
Perry D. Nocifora, CFP, CRFA, Wealth Management Services, Inc., Garden Grove, CA 92841-4173 |
| Jul. 19, 2006 |
Jack R. Ford |
| Jul. 19, 2006 |
W. Thomas Conner and Eric A. Arnold, Committee of Annunity Insurers, Sutherland Asbill & Brennan LLP on behalf of Committee of Annuity Insurers |
| Jul. 19, 2006 |
Joan Hinchman, Executive Director, President and CEO, The National Society of Compliance Professionals, Inc. |
| Jul. 19, 2006 |
Shawn M. Mihal, Chief Compliance Officer, Great American Advisors, Inc. |
| Jul. 19, 2006 |
Joe Lukowski, Chief Compliance Officer, Waterstone Financial Group, Itasca, Illinois |
| Jul. 19, 2006 |
Peter K. Vonk, SVP/CCO, CUSO Financial Services, L.P. |
| Jul. 19, 2006 |
Robert S. Jones, Jr., ChFC, CLU, Chairman, AXA Advisors, LLC |
| Jul. 19, 2006 |
Curtis A. Knauss |
| Jul. 19, 2006 |
Kevin A Govero, CLU |
| Jul. 19, 2006 |
Ira D. Hammerman, General Counsel, Securities Industry Association |
| Jul. 19, 2006 |
Michael P. DeGeorge, General Counsel, National Association for Variable Annunities |
| Jul. 19, 2006 |
Edward C. Hiers, President, Northeast Planning Associates, Inc., Bedford, NH |
| Jul. 19, 2006 |
Gary M. Gillan |
| Jul. 19, 2006 |
Stephen A. Batman, CEO 1st Global Capital Corp. |
| Jul. 19, 2006 |
Gary A. Sanders, Senior Counsel, Law and Government Relations, National Association of Insurance and Financial Advisors and Thomas F. Korb, Vice President of Policy and Public Affairs, Association for Advanced Life Underwriting |
| Jul. 19, 2006 |
Steve Summerlin, President, CERTIFIED FINANCIAL PLANNERTM, Summerlin Financial Advisors, Inc., Gainesville, Florida
|
| Jul. 19, 2006 |
Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute |
| Jul. 19, 2006 |
W. Burk Rosenthal, CFS, President, Rosenthal Retirement Planning, LP, Registered Principal, Securities America, Inc.
|
| Jul. 19, 2006 |
Clyde R. Martinez, Agent, New York Life Insurance Company, Albuquerque, New Mexico |
| Jul. 19, 2006 |
Phillip Hinds, Registered Representative, Transamerica Financial Advisors, Inc. |
| Jul. 19, 2006 |
Austin Kanter |
| Jul. 19, 2006 |
Jill I. Gross, Esquire, Pace Investor Rights Project, White Plains, New York |
| Jul. 19, 2006 |
M. Shawn Dreffein, President and CEO, National Planning Holdings, Inc., National Planning Corporation |
| Jul. 18, 2006 |
Gary T. Wolff, CLU, ChFC, Vernon, Connecticut |
| Jul. 18, 2006 |
Thomas J. Wolff, Chartered Financial Consultant, Vernon, Connecticut |
| Jul. 18, 2006 |
Gregory S. Wolff, Certified Financial Planner, Wolff-Zackin Financial, LLC, Vernon, Connecticut |
| Jul. 18, 2006 |
Robert E. Baxter, III, CLU, ChFC; R.E. Baxter & Associates, Inc. |
| Jul. 18, 2006 |
Thomas R. Moriarty, Co-President, InterSecurities, Inc. |
| Jul. 18, 2006 |
Roger Erickson, National Committeeman, NAIFA--Blue Valley Nebraska |
| Jul. 18, 2006 |
Steven C. Arndt, Registered Representative |
| Jul. 18, 2006 |
James Biasotti, Advantage Wealth Advisors, Los Angeles, California |
| Jul. 18, 2006 |
Dave Spellman, President, Pratt Financial Group, Inc., Westbrook, Maine |
| Jul. 18, 2006 |
Leonard Viscito, CPA, J.D., Registered Representative, Mutual Service Corporation |
| Jul. 17, 2006 |
Joseph F. Brinker, Registered Representative, Transamerica Financial Advisors, Inc. |
| Jul. 17, 2006 |
Peter T. Lotzer, CLU, ChFC, Registered Representative, ING Financial Partners |
| Jul. 17, 2006 |
Kurt A. Kechely, CLU, ChFC, Daubert & Butler Associates |
| Jul. 17, 2006 |
Nathan M. Kosman, VP, The Rosselot Financial Group Inc., Cincinnati OH
|
| Jul. 17, 2006 |
Norman H. Cathell Jr. |
| Jul. 17, 2006 |
Mark J. Napolin, CLU, ChFC, Managing Principal, Transamerica Financial Advisors, Inc. |
| Jul. 17, 2006 |
W. Greg Barney, CLU, ChFC, Investment Advisor Representative, Transamerica Financial Advisors, Inc. |
| Jul. 17, 2006 |
Gregory A. Wittland, CFP, Quincy, Illinois |
| Jul. 17, 2006 |
Porter T. Talbot, RFP, ChFC, CLU |
| Jul. 15, 2006 |
Gary H. Miyashiro, Registered Representative, Transamerica Financial Advisors |
| Jul. 15, 2006 |
Dan HeiRonimus |
| Jul. 15, 2006 |
Neil Lubarsky, White Plains, N.Y. |
| Jul. 14, 2006 |
Harriet A. Veenker, Registered Representative, Transamerica Financial Advisors, Inc. |
| Jul. 14, 2006 |
Chris A. Hipple, Registered Representative, Transamerica Financial Advisors, Inc. |
| Jul. 14, 2006 |
John H. Kaight, Transamerica Financial Advisors, Inc. |
| Jul. 14, 2006 |
William A. Meserve, Registered Representative, Transamerica Financial Advisors, Inc. |
| Jul. 14, 2006 |
James Owen Davidson, Central Financial Services |
| Jul. 14, 2006 |
Christopher Shaw, Vice President, Licensing & Compliance Administration, Transamerica Financial Advisors, Inc. |
| Jul. 14, 2006 |
Dinesh Patel |
| Jul. 14, 2006 |
Lawrence Lester, Financial Consultant, AXA Advisors, New York City, New York |
| Jul. 14, 2006 |
Jady Hoffner, Registered Representative |
| Jul. 14, 2006 |
Mitchell F. Keil, CFP |
| Jul. 14, 2006 |
John Kloempken, JD, MBA, Registered Representative, Chicago North Financial Group, Itasca, Illinois |
| Jul. 14, 2006 |
S.D. Khalsa, MS, CSA, ChFC, Financial Advisor, Hudson, Ohio |
| Jul. 14, 2006 |
Cory Anderson, Town and Country Insurance Agency, Finlayson, Minnesota |
| Jul. 14, 2006 |
Jerry O'Reilly, Royal Alliance Associates, Inc. |
| Jul. 14, 2006 |
Catherine Latto, CFP, President, Latto & Associates, Inc. |
| Jul. 14, 2006 |
Matt Muccigrosso, Princor Financial Services Corporation |
| Jul. 14, 2006 |
Bob FitzSimmons, CFP, Lincoln, Nebraska |
| Jul. 14, 2006 |
Timothy G. Carnago, Hutchins Brokerage/Greaves Agency, Transamerica Financial Advisors, Ormond Beach, Florida |
| Jul. 13, 2006 |
Donald B. Elliott, Northwestern Mutual Financial Network |
| Jul. 13, 2006 |
Barry Levine, CLU, ChFC, LUTCF |
| Jul. 13, 2006 |
William A. Caplin, CLU, ChFC, Registered Representative, Transamerica Financial Advisors, Inc. |
| Jul. 13, 2006 |
Robert Jenkins, LUTCF, New York Life Insurance Company Agent, Salt Lake City, Utah |
| Jul. 13, 2006 |
James L. Culp, FIC, Financial Associate, Thrivent Investment Management Inc., Greenville, South Carolina |
| Jul. 13, 2006 |
Larry J. Winkelhake, CLU, ChFC, Royal Alliance Associates Inc., Milwaukee, Wisconsin |
| Jul. 13, 2006 |
Walter J. Robinson, RHU, CLU, ChFC, LUTCF, CSA, Norwalk, Connecticut |
| Jul. 13, 2006 |
John Harvey, CSA, Certified Senior Advisor, Malachi Financial Group, Ridgeland, Mississippi |
| Jul. 13, 2006 |
Ron Walrath, ChFC, CLU, CLTC, Thrivent Financial for Lutherans, Lexington, South Carolina |
| Jul. 13, 2006 |
Jerry L. Courtney, CLU, ChFC, Northwestern Mutual Financial Network, Burlington, Iowa |
| Jul. 13, 2006 |
Walter J. Scott, Jr., CLU, W. F. Coe & Associates, LLC, Oshkosh, Wisconsin |
| Jul. 13, 2006 |
Craig W. Dolan, Federated Mutual Insurance |
| Jul. 13, 2006 |
Roger Whitaker |
| Jul. 13, 2006 |
Javier D. Perez, ChFC, CSA, LUTCF, Tesoro Ins. & Fin. Services |
| Jul. 13, 2006 |
Bernie Wilson, CLU, ChFC |
| Jul. 13, 2006 |
Michael B. Holman, CLU, ChFC, Tacoma, Washington |
| Jul. 13, 2006 |
Peter D. Fischel, CLU, Fremont, California |
| Jul. 13, 2006 |
Rafael Siero |
| Jul. 13, 2006 |
Steven M. Weinstein, CFP, Mutual Service Corp. |
| Jul. 13, 2006 |
Ira Brogin, AXA Advisors, LLC |
| Jul. 13, 2006 |
Donald R. Herrmann |
| Jul. 13, 2006 |
Melody A. Anderson, Financial Representative, Lincoln, Illinois |
| Jul. 13, 2006 |
Mary L. Hradsky, LUTCF, AXA-Advisors, LLC, Hampstead, Maryland |
| Jul. 13, 2006 |
Peirce Ward, Metlife, Charlotte, North Carolina |
| Jul. 13, 2006 |
Jimmy Lee, MML Investors Services, Inc. |
| Jul. 13, 2006 |
Frank Lavin,
AXA Advisors, San Francisco, CA |
| Jul. 13, 2006 |
Bill Burnham, CLU, ChFC, Ridgeland, MS |
| Jul. 13, 2006 |
E. Michael Gillmor, Financial Services Professional, New York Life Insurance Company, Seven Hills, OH
|
| Jul. 13, 2006 |
Matthew J. Doke, Agent, New York Life Insurance Company
|
| Jul. 13, 2006 |
James D. Finneran |
| Jul. 13, 2006 |
Thomas G. Krach |
| Jul. 13, 2006 |
James A. Tollus, ChFC, CLU, CMFC, Sagemark Consulting, Greenville, SC |
| Jul. 13, 2006 |
Howard Gray,
New York Life, Bowling Green, OH |
| Jul. 12, 2006 |
Glen Stevenson |
| Jul. 12, 2006 |
Anthony Petsis, CLU, ChFC, Registered Principal, Transamerica Financial Advisors, Inc. |
| Jul. 12, 2006 |
Jerry Webb |
| Jul. 12, 2006 |
Ruby A. Miller, Agent, State Farm Insurance and President, NAIFA-TN (National Association of Insurance & Financial Advisors-Tennessee) |
| Jul. 12, 2006 |
Daniel G. Stockemer, Kansas
|
| Jul. 12, 2006 |
Nancy A. Griffin |
| Jul. 12, 2006 |
Betsy O'Reilly |
| Jul. 12, 2006 |
Anne Graves, CLU, ChFC, REBC, RHU, LUTCF, Fredericksburg, VA |
| Jul. 12, 2006 |
Michael J. Frailey |
| Jul. 12, 2006 |
Adam R. Stevens, Financial Representative, Northwestern Mutual Financial Network
|
| Jul. 12, 2006 |
George F. Harley, CLU, CFP |
| Jul. 12, 2006 |
Raymond E. Moore, CLU, ChFC, MSFS, CAP, President, Registered Principal, Moore Financial Services, Richmond, VA 23236 |
| Jul. 12, 2006 |
James R. Denny, III |
| Jul. 12, 2006 |
Pamela S. Fritz, Chief Compliance Officer; Thaddeus R. Crass, Chief Operations Officer; Robert M. Roth, President, MWA Financial Services Inc.
|
| Jul. 12, 2006 |
Armand Minasian, CFP, San Francisco, CA |
| Jul. 12, 2006 |
Georgia H. Ford, CLU, ChFC, MetLife
|
| Jul. 12, 2006 |
Thomas A. Haunty, CFP, RHU, REBC, ChFC, Senior Partner, North Star Resource Group |
| Jul. 12, 2006 |
John Power, CPA, Power Financial, LLC
|
| Jul. 12, 2006 |
Robert Varich |
| Jul. 12, 2006 |
Suzie Hilgeman |
| Jul. 12, 2006 |
Aprilyn Chavez Agency |
| Jul. 12, 2006 |
Gary Zinter |
| Jul. 12, 2006 |
Chad Rogers, Northwestern Mutual Financial Network |
| Jul. 12, 2006 |
James B. Thompson |
| Jul. 12, 2006 |
Courtney L. Livingston, LUTCF, FIC, Thrivent Financial for Lutherans |
| Jul. 12, 2006 |
Joseph Bynum |
| Jul. 12, 2006 |
Anita Kennedy, Agency Manager, Eugene, Oregon |
| Jul. 11, 2006 |
Scott E. Bordelon, CFP, AAMS, President, Financial & Investment Management Advisors, Inc., Covington, Louisiana |
| Jul. 11, 2006 |
John & Kathi Meo, CFP, Registered Principal, LPL Financial Services |
| Jul. 10, 2006 |
Lynn M. Vance, Mutual Service Corp. |
| Jul. 10, 2006 |
Michael J. Mungenast, President, ProEquities, Inc. |
| Jul. 10, 2006 |
Jed E. Bandes, CFP, ChFC, CLU, Clearwater, Florida |
| Jul. 6, 2006 |
Gale Johnston, CFP, Financial Advisor, Los Angeles, California |
| Jul. 6, 2006 |
Charles B. Milligan III, Chief Compliance Officer, Vice President of Operations, Cambria Capital, LLC, Salt Lake City, Utah |
| Jul. 5, 2006 |
Peter W. Sullivan, ING Financial Partners, Sullivan Financial Group |
| Jul. 3, 2006 |
Ron A. Rhoades, B.S., J.D., CFP, Hernando, Florida |
| Jul. 2, 2006 |
D. Max Bruce, DM Bruce Associates, Overland Park, Kansas |
| Jun. 30, 2006 |
Heather L. Shick, Investment Adviser Representative, Woodbury Financial Services, Inc., Lakeport, California |
| Jun. 30, 2006 |
Michael J. Lavery, Investment Planners Inc., Quincy, Illinois |
| Jun. 30, 2006 |
Bobby Glass, CLU, ChFC, CFP, MSFS, Registered Principal, Acorn Financial Services, Fairfax, Virginia |
| Jun. 30, 2006 |
Gerald W. Hall, Branch Manager/Financial Advisor, Raymond James Financial Services, Inc., Fredonia, New York |
| Jun. 30, 2006 |
Rhonda Matthews, Raymond James Financial Services |
| Jun. 28, 2006 |
Allen M. Kamemoto, Registered Representative, Transamerica Financial Advisors, Honolulu, Hawaii |
| Jun. 26, 2006 |
Dennis T. Higuchi, Registered Principal, Transamerica Financial Advisors, Honolulu, Hawaii |
| Jun. 23, 2006 |
Miles M. Ono, Registered Representative, Transamerica Financial Advisors, Honolulu, Hawaii |
| Jun. 22, 2006 |
Dennis T. Higuchi, Registered Principal, Transamerica Financial Advisors, Honolulu, Hawaii |
| Jun. 8, 2006 |
Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, ACLI |
| Dec. 22, 2005 |
| |
